SEC's Barbash Reviews New Investment Adviser Regulation

Thompson, Duane R.
August 1997
Journal of Financial Planning;Aug1997, Vol. 10 Issue 4, p50
Academic Journal
Interviews Barry P. Barbash, director of the Division of Investment Management for the U.S. Securities and Exchange Commission, concerning the implementation of the National Securities Markets Improvement Act. Information on the significant changes in the ADV form; Kinds of challenges facing the Division of Investment Management; Impact of the new regulatory landscape on the financial planner/investment adviser business environment.


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